| ING America Insurance Holdings Inc. | Voya Financial | financial services | investor protection violation | 2006 | $7,000,000 |
| BRUT LLC | Nasdaq Inc. | financial services | investor protection violation | 2006 | $2,200,000 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2006 | $350,000 |
| Credit Suisse Securities (USA), LLC | UBS | financial services | investor protection violation | 2006 | $225,000 |
| Morgan Stanley & Co. Incorporated | Morgan Stanley | financial services | investor protection violation | 2006 | $200,000 |
| Trillium Trading LLC | | | investor protection violation | 2006 | $225,000 |
| Schonfeld & Company LLC | | | investor protection violation | 2006 | $175,000 |
| LaSalle Street Securities, Inc. | | | investor protection violation | 2006 | $200,000 |
| American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | $1,100,000 |
| Boston Capital Securities, Inc. | | | investor protection violation | 2006 | $1,200,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | financial services | investor protection violation | 2006 | $5,000,000 |
| David Lerner Associates, Inc. | | | investor protection violation | 2006 | $400,000 |
| Diversified Investors Securities Corp. | | | investor protection violation | 2006 | $2,250,000 |
| Sanford C. Bernstein & Co. | Equitable Holdings | financial services | investor protection violation | 2006 | $350,000 |
| Berean Capital Incorporated | | | investor protection violation | 2006 | $100,000 |
| Oppenheimer & Co. Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2006 | $250,000 |
| Merrill Lynch, Pierce, Fenner & Smith | Bank of America | financial services | investor protection violation | 2005 | $14,000,000 |
| Wells Fargo Investments | Wells Fargo | financial services | investor protection violation | 2005 | $3,000,000 |
| Linsco/Private Ledger Corporation | | | investor protection violation | 2005 | $2,400,000 |
| First Avantus Securities, Inc. | | | investor protection violation | 2005 | $100,000 |
| National Securities Corporation | | | investor protection violation | 2005 | $85,000 |
| First Clearing Corporation | | | investor protection violation | 2005 | $110,000 |
| Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $290,262 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $12,300,000 |
| State Street Global Markets LLC | State Street Corp. | financial services | investor protection violation | 2005 | $1,400,000 |
| SG Americas Securities, LLC | Societe Generale | financial services | investor protection violation | 2005 | $4,478,000 |
| RBC Capital Markets Corporation | Royal Bank of Canada | financial services | investor protection violation | 2005 | $2,108,000 |
| RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,158,000 |
| DebtTraders, Inc. | | | investor protection violation | 2005 | $120,000 |
| Ameriprise Financial Services, Inc. | Ameriprise Financial | financial services | investor protection violation | 2005 | $1,250,000 |
| Green Street Advisors | | | investor protection violation | 2005 | $150,000 |
| Instinet, LLC and INET ATS, Inc. | | | investor protection violation | 2005 | $1,475,000 |
| Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2005 | $2,200,000 |
| IFC Holdings, Inc. d/b/a INVEST Financial Corporation | | | investor protection violation | 2005 | $1,520,000 |
| Commonwealth Financial Network | | | investor protection violation | 2005 | $1,400,000 |
| National Planning Corporation Inc. | | | investor protection violation | 2005 | $1,308,000 |
| Mutual Service Corporation | | | investor protection violation | 2005 | $1,300,000 |
| Lincoln Financial Advisors Corporation | Lincoln National | financial services | investor protection violation | 2005 | $950,000 |
| SII Investments, Inc. | | | investor protection violation | 2005 | $658,500 |
| Investment Centers of America, Inc. | LPL Financial | financial services | investor protection violation | 2005 | $363,500 |
| Lord Abbett Distributor, LLC | | | investor protection violation | 2005 | $255,000 |
| ING Funds Distributor | Voya Financial | financial services | investor protection violation | 2005 | $1,500,000 |
| First Allied Securities, Inc. | | | investor protection violation | 2005 | $734,500 |
| David Lerner Associates, Inc. | | | investor protection violation | 2005 | $115,000 |
| Edward D. Jones & Co., L.P. | Jones Financial | financial services | investor protection violation | 2005 | $300,000 |
| Hantz Financial Services, Inc. | | | investor protection violation | 2005 | $675,000 |
| Morgan Stanley DW, Inc. | Morgan Stanley | financial services | investor protection violation | 2005 | $6,100,000 |
| Hornor, Townsend & Kent, Inc. | | | investor protection violation | 2005 | $325,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $280,000 |
| ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2005 | $220,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $160,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $140,000 |
| Stephens, Inc. | | | investor protection violation | 2005 | $110,000 |
| Stone & Youngberg, LLC | | | investor protection violation | 2005 | $110,000 |
| Banc of America Investment Services, Inc. | Bank of America | financial services | investor protection violation | 2005 | $90,000 |
| Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $90,000 |
| Brinker Capital Securities, Inc. | | | investor protection violation | 2005 | $60,000 |
| Chase Investment Services Corp. | JPMorgan Chase | financial services | investor protection violation | 2005 | $60,000 |
| Citigroup Global Markets Inc. | Citigroup | financial services | investor protection violation | 2005 | $60,000 |
| CIBC World Markets Corp. | Canadian Imperial Bank of Commerce | financial services | investor protection violation | 2005 | $40,000 |
| Emmet & Co., Inc. | | | investor protection violation | 2005 | $40,000 |
| Loop Capital Markets, LLC | | | investor protection violation | 2005 | $40,000 |
| Popular Securities, Inc. | | | investor protection violation | 2005 | $40,000 |
| BOSC, Inc. | | | investor protection violation | 2005 | $30,000 |
| Pershing LLC | | | investor protection violation | 2005 | $30,000 |
| Prager, Sealy & Co., LLC | | | investor protection violation | 2005 | $30,000 |
| Tejas Securities Group, Inc. | | | investor protection violation | 2005 | $10,000 |
| UBS International Inc. | UBS | financial services | investor protection violation | 2005 | $10,000 |
| Morgan Stanley & Co. | Morgan Stanley | financial services | investor protection violation | 2005 | $2,650,000 |
| J.P. Morgan Securities, Inc. | JPMorgan Chase | financial services | investor protection violation | 2005 | $150,000 |
| Goldman, Sachs & Co. | Goldman Sachs | financial services | investor protection violation | 2005 | $125,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $6,600,000 |
| H.D. Vest Investment Services | | | investor protection violation | 2005 | $4,015,000 |
| AllianceBernstein Investment Research and Management, Inc. | Equitable Holdings | financial services | investor protection violation | 2005 | $3,984,087 |
| Linsco/Private Ledger Corp. | | | investor protection violation | 2005 | $3,602,398 |
| Wells Fargo Investments, LLC | Wells Fargo | financial services | investor protection violation | 2005 | $2,970,000 |
| SunAmerica Securities, Inc. | American International Group | financial services | investor protection violation | 2005 | $2,500,000 |
| FSC Securities Corp. | | | investor protection violation | 2005 | $2,400,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $2,400,000 |
| RBC Dain Rauscher, Inc. | Royal Bank of Canada | financial services | investor protection violation | 2005 | $1,700,000 |
| McDonald Investments Inc. | | | investor protection violation | 2005 | $1,500,000 |
| AXA Advisors, LLC | Equitable Holdings | financial services | investor protection violation | 2005 | $900,000 |
| Sentra Securities Corporation and Spelman & Co., Inc. | | | investor protection violation | 2005 | $780,000 |
| Advantage Capital Corp. | | | investor protection violation | 2005 | $450,000 |
| Advest, Inc. | | | investor protection violation | 2005 | $286,415 |
| SunTrust Capital Markets, Inc. | Truist Financial | financial services | investor protection violation | 2005 | $100,000 |
| Waddell & Reed, Inc. | Macquarie | financial services | investor protection violation | 2005 | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000 |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | financial services | investor protection violation | 2005 | $888,000 |
| Ladenburg Thalmann & Co. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | $1,200,000 |
| Thomas Weisel Partners | Stifel Financial | financial services | investor protection violation | 2005 | $1,750,000 |
| Jefferson Pilot Variable Corporation | Lincoln National | financial services | investor protection violation | 2005 | $688,697 |
| Citigroup Global Markets, Inc. | Citigroup | financial services | investor protection violation | 2005 | $6,250,000 |
| American Express Financial Advisors | Ameriprise Financial | financial services | investor protection violation | 2005 | $13,000,000 |
| Chase Investment Services | JPMorgan Chase | financial services | investor protection violation | 2005 | $2,000,000 |
| Spear, Leeds & Kellogg, L.P | Goldman Sachs | financial services | investor protection violation | 2005 | $1,000,000 |
| Quick & Reilly, Inc. | | | investor protection violation | 2005 | $570,000 |
| Piper Jaffray & Co. | Piper Sandler | financial services | investor protection violation | 2005 | $275,000 |
| Scottrade, Inc. | Charles Schwab Corp. | financial services | investor protection violation | 2005 | $250,000 |
| LH Ross | | | investor protection violation | 2005 | $11,968,000 |
| Yankee Financial Group, Inc. | | | investor protection violation | 2005 | $3,800,000 |
| Banc One Securities Corporation | JPMorgan Chase | financial services | investor protection violation | 2005 | $400,000 |
